Compliance Laws – NASD Rule 3010
NASD Rule 3010 (National Association of Securities Dealers)
**A system should be established and maintained to supervise activities of all registered representatives, including the use of e-mail and websites. Written procedures must be developed for the review of any written and electronic correspondence with the public relating to investment banking or securities business. If an electronic or manual pre-use review is not done, then appropriate supervisory procedures should be developed, as well as monitoring and testing the procedures, educating employees on the procedures and documenting the education of the employees. All correspondence relating to investment banking or securities business should be retained along with the names of the persons who prepared and reviewed the correspondence, and the retained records should be readily available to NASD. An annual review of a broker/dealer’s business activities, supervisory system, customer accounts and office inspections is required.
- Develop Supervisory Procedures
- Preserve Records in Accordance with SEC Rule 17a-4 and NASD Rules
Athena Archiver assists companies in complying with NASD Rule 3010 in the following ways:
- Provides Sampling and Supervisory Review
- Review and tag all compliant and disciplinary history of registered representatives and other employees
- Search and Discovery
Athena Archiver assists with NASD Rule 3010
This document describe show Athena Archiver helps you meet the compliance regulations of the NASD Rule 3010.
Download NASD 3010 Compliance .PDF
Securities Lawyer's Deskbook published by The University of Cincinnati College of Law
http://www.law.uc.edu/CCL/
National Association of Securities Dealers (NASD)
http://www.finra.org
NASD: Rules and Regulations
http://www.finra.org/RulesRegulation/
NASD Manual
http://finra.complinet.com/finra/display/display.html?rbid=1189&element_id=1159000590
